Securities Lawyers Blog
Many investors who have lost money with a broker at Consolidated Financial Investments, Inc. wonder whether they can recover their investment losses and how long they have to act. The securities arbitration attorneys at Gana Weinstein LLP represent investors in FINRA arbitration, the forum where most claims against brokerage firms and stockbrokers are decided. Our attorneys can explain the FINRA arbitration process, the time limits that apply to your claim, and the damages that may be recovered.
Consolidated Financial Investments is a small, individually owned broker-dealer providing securities brokerage services to investors in the Saint Louis area. Organized in Missouri in 1988 and registered with the SEC since 1987, the firm is headquartered in Clayton, Missouri.
Consolidated Financial Investments, Inc. – By the Numbers:
- CRD #: 18810
- Regulatory Events: 3
- Broker Employees: 6
Consolidated Financial Investments, Inc. – In the News:
FINRA v. Consolidated Financial Investments, Inc. (Case #2016048239901) – From 2013 to 2016, Consolidated Financial knew that an associated person was engaging in an outside business activity that involved investments, but the firm did not properly evaluate that activity. The registered person helped foreign citizens obtain United States visas through the federal government’s EB-5 program by arranging for eight participants to invest in a trucking business through limited partnership interests, and indirectly received selling compensation for those investments. As a result, Consolidated Financial violated NASD Rule 3010 and FINRA Rules 2010, 3110, and 3270.
Can I sue my financial advisor? Can I recover investment losses? The answers depend on the facts of your accounts at Consolidated Financial Investments, Inc., and the securities arbitration attorneys at Gana Weinstein LLP can give them to you in a free consultation. We welcome all inquiries.